• Advise clients on recent changes in securities laws, including, Dodd-Frank which affects many areas of securities laws and the many rules promulgated under Dodd-Frank by the CFTC and SEC.

• Register clients as broker/dealers with FINRA on Web-CRD and exchanges and assist broker/dealers to interpret and comply with FINRA Rules.

• Register Investment Advisors on IARD with the SEC or state securities departments and assist in ongoing compliance with the Investment Advisers Act of 1940.

• Form and advise mutual funds and provide ongoing compliance work, draft registration statements and update the mutual funds’ prospectus to comply with the Investment Company Act.

• As senior associate, meet with existing and potential clients of the firm to sell the firm’s services, estimate total project costs and legal fees and managed all junior associates and support staff.

• Assist clients to prepare for corporate transactions and draft documents that plan for potentially future risk not considered by the client at the time of the transaction.

• Assist companies with general contract reviews, dissolutions, reorganizations, separation of assets after a change of control of a business due to economic conditions, the death of management or control of the leadership of the company.